Financial Services Institute Inc. (FSI)

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  1. Articles

    The rewards of engaging with Congress

    Recent history shows that connecting with legislators in Washington is time well spent.

  2. Articles

    FSI gives revised Finra BrokerCheck link rule the thumbs down

    In a new comment letter, the industry group contends that the rule would create undue regulatory costs.

  1. Articles

    CARDS proposal poses challenges, unintended consequences

    Though well-intended, Finra's plan could come with new security concerns and costs

  2. Articles

    FSI opposes Finra proposal for automated account information collection

    CARDS would pose risks and challenges to its members, broker-dealer group contends.

  3. Articles

    FSI to push for independent-contractor legislation in 2014

    Live from FSI OneVoice: Group wants to remove the uncertainty of continuing IRS scrutiny. Check out a video interview with Dale Brown, where the organization's president and CEO offers his Finra wish list.

  4. Articles

    Advisers dubious about chances of government action – any government action

    Independent financial advisers expect another year of tepid economic growth in the U.S. as lawmakers continue to avoid a permanent deal on the country’s debt issues. Most advisers — nearly six in 10 — expect the economy and stock market to stay flat next year, but about a third expect improvement

  5. Articles

    Lobbyists put hands in sausage maker

    As the Department of Labor readies to re-propose its fiduciary-duty rule, lobbying surrounding the issue intensifies. Did the Financial Services Institute Inc. draft an opposition letter signed by lawmakers? Probably; but that's not a scandal. That's business as usual in Washington.

  6. Articles

    BrokerCheck link dashed

    Finra yanks proposal that would have required reps to post link to database on their web sites, social media pages

  7. Articles

    Finra's cease-fire on RIA oversight

    Regulator is indicating that legislation on SRO proposal might not be revived this year

  8. Articles

    Finra warned on bonus disclosure plan

    The main trade group representing independent-contractor broker-dealers will soon go public with its concerns about a Financial Industry Regulatory Authority Inc. proposal to require brokers to disclose recruiting incentives.

  9. Articles

    Journalist's book blisters advisers

    A new book that criticizes the financial advice industry is being panned by many advisers, but surprisingly, others agree with at least some of its conclusions.

  10. Articles

    Advocates for retirement tax incentives gird for 2013 battle

    Stepping up lobbying to protect 401(k)s, IRA deferrals; 'laying down a marker'

  11. Articles

    Industry groups give congressionally, not on federal level

    Trade associations in the investment advice sector can agree on one thing when it comes to politics: It doesn't make any sense for their political action committees to donate to presidential candidates.

  12. Articles

    FSI unloads on Borzi

    The FSI has fired off a letter to Congress blasting the letter the DOL's Phyllis Borzi sent to Congress blasting Institute

  13. Articles

    FSI goes with 'devil we know' in oversight of advisers

    The way the Financial Services Institute Inc. sees it, the reason for supporting Finra's effort to expand its reach to include investment advisers comes down to this: “Better the devil you know.”